securities-act
12 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 25-1112 | James Everett Hunt, et al. v. PricewaterhouseCoopers LLP | Ninth Circuit | 2026-03-24 | Pending | accountant-certification due-diligence-defense material-misrepresentation registration-statement section-11-liability securities-act | 1. Whether to adequately plead a claim under Section 11(a)(4) of the Act against a certifying accountant based on material misrepresentations containe… | |
| 25-944 | Robinhood Markets, Inc., et al. v. Vinod Sodha, et al. | Ninth Circuit | 2026-02-09 | Pending | Amici (3) | interim-financial-data item-303 misleading-omissions regulation-s-k section-11 securities-act | 1. Whether an issuer violates Section 11(a)'s misleading-omissions prong by failing to disclose interim financial data that investors may consider mat… |
| 25A506 | Walter W. Bullock, et al. v. Rivian Automotive, Inc., et al. | California | 2025-11-04 | Presumed Complete | corporate-charter federal-court forum-provision initial-public-offering securities-act state-court | 1. This case asks whether a publicly-traded corporation can unilaterally amend its corporate charter to include a forum-steering provision for suits b… | |
| 25-44 | Fiyyaz Pirani v. Slack Technologies, Inc., et al. | Ninth Circuit | 2025-07-14 | Denied | Response Waived | burden-shifting circuit-conflict direct-listing prospectus-liability registration-requirement securities-act | 1. Whether Section 12(a)(2) of the Securities Act of 1933 requires plaintiffs to plead and prove that they bought shares registered in the offering fo… |
| 24A68 | Plumbers Local 290 Pension Trust Fund v. Root, Inc., et al. | Sixth Circuit | 2024-07-19 | Presumed Complete | business-risk disclosure-obligation initial-public-offering material-misstatement securities-act sixth-circuit | Question not identified. | |
| 22-1016 | Cardone Capital, LLC, et al. v. Luis Pino | Ninth Circuit | 2023-04-19 | Denied | Response RequestedResponse WaivedRelisted (2) | bespeaks-caution-doctrine circuit-split forward-looking-statements risk-disclosures securities-act seller-liability | It is a bedrock principle of the Securities Act that investors are responsible for bearing the risks of investments about which they are adequately wa… |
| 22-267 | Glenn Arcaro v. Albert Parks, et al. | Eleventh Circuit | 2022-09-21 | Denied | Response Waived | cryptocurrency investment-liability pinter-v-dahl securities-act social-media social-media-promotion standing statutory-seller | Section 12(a)(1) of the Securities Act of 1933 provides that anyone who "offers" or "sells" an unregistered security "shall be liable ... to the perso… |
| 22-200 | Slack Technologies, LLC, fka Slack Technologies, Inc., et al. v. Fiyyaz Pirani | Ninth Circuit | 2022-09-02 | Judgment Issued | Amici (18) | civil-procedure ninth-circuit prospectus registration-statement section-11 section-12 section-12(a)(2) securities-act securities-act-1933 standing | Whether Sections 11 and 12(a)(2) of the Securities Act of 1933 require plaintiffs to plead and prove that they bought shares registered under the regi… |
| 21-5920 | In Re Jason Brooks | 2021-10-06 | Denied | IFP | actual-innocence aedpa constitutional-vagueness due-process habeas-corpus jurisdiction securities-act suspension-clause vagueness | (i) Whether a freestanding claim of actual innocence can overcome AEDPA's gatekeeping provisions and/or whether a prisoner may be entitled to federal … | |
| 20-1541 | Pivotal Software, Inc., et al. v. Superior Court of California, City and County of San Francisco, et al. | California | 2021-05-05 | Granted | Amici (5)Response RequestedResponse WaivedRelisted (3) | discovery-stay federal-court private-action reform-act securities-act securities-litigation state-court | Whether the Reform Act's discovery-stay provision applies to a private action under the Securities Act in state or federal court, or solely to a priva… |
| 20-862 | Hui Feng, et al. v. Securities and Exchange Commission | Ninth Circuit | 2020-12-30 | Denied | Response Waived | antifraud-provisions broker-registration capital-raising investment-advisers-act-of-1940 sec-authority secondary-market secondary-market-transactions securities-act securities-exchange-act securities-exchange-act-of-1934 statutory-interpretation | The questions presented are: 1. Whether the SEC exceeded its statutory authority under the Securities Exchange Act of 1934, which regulates secondary… |
| 19-249 | Kevin Lampkin, et al. v. UBS Financial Services, Incorporated, fka UBS Painewebber, Incorporated, et al. | Fifth Circuit | 2019-08-26 | Denied | Response Waived | cendant-cases civil-procedure employee-compensation employee-stock-options fifth-circuit sale-definition sale-of-securities securities securities-act securities-act-of-1933 securities-regulation standing stock-option supervisory-powers | Is the grant of an employee stock option a "sale" of a security under the Securities Act of 1933? |